SEC Commissioner Peirce pierces broker best ex proposal
"The proposed rule provides a handy checklist for SEC examiners and enforcement attorneys, but it does not foster brokers’ exercise of judgment to achieve what is best for customers"
"The proposed rule provides a handy checklist for SEC examiners and enforcement attorneys, but it does not foster brokers’ exercise of judgment to achieve what is best for customers"
Copyright PEI Media
Not for publication, email or dissemination